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US Bank RCA Professional Category Corporate Functions United States, Minnesota, Minneapolis 247841465
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- Bachelor's degree, or equivalent work experience
- Typically, more than two years of applicable experience
This position primarily is responsible for the development and monitoring of USBAM/PFMAM SEC Rule 206(4)-7 Compliance Program as it relates to the oversight and due diligence review of the duties and responsibilities of the investment adviser and sub-advisers. This position also will primarily assist with Portfolio and Trading Compliance and the overall daily monitoring of trade activity. This individual will have direct interaction with senior management of USBAM & PFMAM, and advise executive and line management on emerging compliance issues, and will be responsible for establishing policies, procedures and controls.
A minimum of five years of compliance experience in investment adviser, mutual fund regulatory compliance. This experience will likely include significant roles and responsibilities in the compliance area of investment management company and/or investment advisor. Proven ability to function in a fast paced, risk-conscious environment while working within strategies to move the business forward. Ability to interface effectively with management and team members. A high level of sophistication and experience with the use of information technology in support of the compliance functions is a must, as well as experience utilizing the Bloomberg compliance module. Demonstrated success in working within processes, procedures and systems that optimize compliance and business results. Demonstrates leadership, consulting, presentation and project management skills..
Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
EEO is the Law
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $69,360.00 - $81,600.00 - $89,760.00U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Job postings typically remain open for approximately 20 days of the posting date listed above, however the job posting may be closed earlier should it be determined the position is no longer required due to business need. Job postings in areas with a high volume of applicants, such as customer service, contact center, and Financial Crimes investigations, remain open for approximately 5 days of the posting listed date.These jobs might be a good fit
